INTI

SEC source: 0001144204-18-065264 · tv509462_4.xml · nonDerivative · entry 1

Mayne Pharma Ventures Pty Ltd · CIK 0001611535 · 10% owner

Mayne Pharma International Pty Ltd · CIK 0001611534 · 10% owner

Mayne Pharma Group Ltd · CIK 0001560183 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,290,930

F1 · kind: On July 15, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") received a dividend of 184,798 shares of Common Stock paid by the Issuer on shares of Series B Convertible Preferred Stock held by Mayne Ventures, pursuant to the terms of such Series B Convertible Preferred Stock.

F2 · ownership.direct: These securities are directly owned by Mayne Ventures. This report is filed jointly by Mayne Ventures, Mayne Pharma International Pty Ltd ("Mayne International") and Mayne Pharma Group Limited ("Mayne Group"). Mayne Group holds 100% of the issued and outstanding equity securities of Mayne International, and Mayne International holds 100% of the issued and outstanding equity securities of Mayne Ventures. Consequently, Mayne Group and Mayne International may be deemed to beneficially own the securities that are the subject to this report indirectly, but disclaim beneficial ownership of such securities except to the extent of their pecuniary interests therein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, Mayne Ventures is deemed a director by deputization by virtue of its representation on the Board of Directors of the Issuer.

SEC source: 0001144204-18-037560 · tv498045_4.xml · derivative · entry 3

Mayne Pharma Ventures Pty Ltd · CIK 0001611535 · 10% owner

Mayne Pharma International Pty Ltd · CIK 0001611534 · 10% owner

Mayne Pharma Group Ltd · CIK 0001560183 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,739,131

Underlying: Common Stock · 1,739,131 shares

Expires 2023-07-05

F3 · derivative.exercise_price: The Series B warrants have an initial exercise price of US$0.275 and may be exercised by Mayne Ventures at any time prior to their expiration on July 5, 2023.

F1 · kind: On July 5, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired (i) 2,318,841 shares of Series B Convertible Preferred Stock, (ii) Series A warrants to purchase 1,739,131 shares of Common Stock in the aggregate and (iii) Series B warrants to purchase 1,739,131 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$1,600,000 at the second closing pursuant to the terms of the securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F1 · shares: On July 5, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired (i) 2,318,841 shares of Series B Convertible Preferred Stock, (ii) Series A warrants to purchase 1,739,131 shares of Common Stock in the aggregate and (iii) Series B warrants to purchase 1,739,131 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$1,600,000 at the second closing pursuant to the terms of the securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F1 · price: On July 5, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired (i) 2,318,841 shares of Series B Convertible Preferred Stock, (ii) Series A warrants to purchase 1,739,131 shares of Common Stock in the aggregate and (iii) Series B warrants to purchase 1,739,131 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$1,600,000 at the second closing pursuant to the terms of the securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F3 · derivative.exercise_date: The Series B warrants have an initial exercise price of US$0.275 and may be exercised by Mayne Ventures at any time prior to their expiration on July 5, 2023.

F1 · derivative.underlying_shares: On July 5, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired (i) 2,318,841 shares of Series B Convertible Preferred Stock, (ii) Series A warrants to purchase 1,739,131 shares of Common Stock in the aggregate and (iii) Series B warrants to purchase 1,739,131 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$1,600,000 at the second closing pursuant to the terms of the securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F4 · ownership.direct: These securities are directly owned by Mayne Ventures. This report is filed jointly by Mayne Ventures, Mayne Pharma International Pty Ltd ("Mayne International") and Mayne Pharma Group Limited ("Mayne Group"). Mayne Group holds 100% of the issued and outstanding equity securities of Mayne International, and Mayne International holds 100% of the issued and outstanding equity securities of Mayne Ventures. Consequently, Mayne Group and Mayne International may be deemed to beneficially own the securities that are the subject to this report indirectly, but disclaim beneficial ownership of such securities except to the extent of their pecuniary interests therein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, Mayne Ventures is deemed a director by deputization by virtue of its representation on the Board of Directors of the Issuer.

SEC source: 0001144204-18-037560 · tv498045_4.xml · derivative · entry 2

Mayne Pharma Ventures Pty Ltd · CIK 0001611535 · 10% owner

Mayne Pharma International Pty Ltd · CIK 0001611534 · 10% owner

Mayne Pharma Group Ltd · CIK 0001560183 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,739,131

Underlying: Common Stock · 1,739,131 shares

Expires 2020-07-05

F2 · derivative.exercise_price: The Series A warrants have an initial exercise price of US$0.23 and may be exercised by Mayne Ventures at any time prior to their expiration on July 5, 2020.

F1 · kind: On July 5, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired (i) 2,318,841 shares of Series B Convertible Preferred Stock, (ii) Series A warrants to purchase 1,739,131 shares of Common Stock in the aggregate and (iii) Series B warrants to purchase 1,739,131 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$1,600,000 at the second closing pursuant to the terms of the securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F1 · shares: On July 5, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired (i) 2,318,841 shares of Series B Convertible Preferred Stock, (ii) Series A warrants to purchase 1,739,131 shares of Common Stock in the aggregate and (iii) Series B warrants to purchase 1,739,131 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$1,600,000 at the second closing pursuant to the terms of the securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F1 · price: On July 5, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired (i) 2,318,841 shares of Series B Convertible Preferred Stock, (ii) Series A warrants to purchase 1,739,131 shares of Common Stock in the aggregate and (iii) Series B warrants to purchase 1,739,131 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$1,600,000 at the second closing pursuant to the terms of the securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F2 · derivative.exercise_date: The Series A warrants have an initial exercise price of US$0.23 and may be exercised by Mayne Ventures at any time prior to their expiration on July 5, 2020.

F1 · derivative.underlying_shares: On July 5, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired (i) 2,318,841 shares of Series B Convertible Preferred Stock, (ii) Series A warrants to purchase 1,739,131 shares of Common Stock in the aggregate and (iii) Series B warrants to purchase 1,739,131 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$1,600,000 at the second closing pursuant to the terms of the securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F4 · ownership.direct: These securities are directly owned by Mayne Ventures. This report is filed jointly by Mayne Ventures, Mayne Pharma International Pty Ltd ("Mayne International") and Mayne Pharma Group Limited ("Mayne Group"). Mayne Group holds 100% of the issued and outstanding equity securities of Mayne International, and Mayne International holds 100% of the issued and outstanding equity securities of Mayne Ventures. Consequently, Mayne Group and Mayne International may be deemed to beneficially own the securities that are the subject to this report indirectly, but disclaim beneficial ownership of such securities except to the extent of their pecuniary interests therein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, Mayne Ventures is deemed a director by deputization by virtue of its representation on the Board of Directors of the Issuer.

SEC source: 0001144204-18-037560 · tv498045_4.xml · derivative · entry 1

Mayne Pharma Ventures Pty Ltd · CIK 0001611535 · 10% owner

Mayne Pharma International Pty Ltd · CIK 0001611534 · 10% owner

Mayne Pharma Group Ltd · CIK 0001560183 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,797,102

Underlying: Common Stock · 6,956,523 shares

Expires not disclosed

F1 · derivative.exercise_price: On July 5, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired (i) 2,318,841 shares of Series B Convertible Preferred Stock, (ii) Series A warrants to purchase 1,739,131 shares of Common Stock in the aggregate and (iii) Series B warrants to purchase 1,739,131 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$1,600,000 at the second closing pursuant to the terms of the securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F1 · kind: On July 5, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired (i) 2,318,841 shares of Series B Convertible Preferred Stock, (ii) Series A warrants to purchase 1,739,131 shares of Common Stock in the aggregate and (iii) Series B warrants to purchase 1,739,131 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$1,600,000 at the second closing pursuant to the terms of the securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F1 · shares: On July 5, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired (i) 2,318,841 shares of Series B Convertible Preferred Stock, (ii) Series A warrants to purchase 1,739,131 shares of Common Stock in the aggregate and (iii) Series B warrants to purchase 1,739,131 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$1,600,000 at the second closing pursuant to the terms of the securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F1 · price: On July 5, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired (i) 2,318,841 shares of Series B Convertible Preferred Stock, (ii) Series A warrants to purchase 1,739,131 shares of Common Stock in the aggregate and (iii) Series B warrants to purchase 1,739,131 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$1,600,000 at the second closing pursuant to the terms of the securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F1 · derivative.expiration_date: On July 5, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired (i) 2,318,841 shares of Series B Convertible Preferred Stock, (ii) Series A warrants to purchase 1,739,131 shares of Common Stock in the aggregate and (iii) Series B warrants to purchase 1,739,131 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$1,600,000 at the second closing pursuant to the terms of the securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F1 · derivative.underlying_shares: On July 5, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired (i) 2,318,841 shares of Series B Convertible Preferred Stock, (ii) Series A warrants to purchase 1,739,131 shares of Common Stock in the aggregate and (iii) Series B warrants to purchase 1,739,131 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$1,600,000 at the second closing pursuant to the terms of the securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F4 · ownership.direct: These securities are directly owned by Mayne Ventures. This report is filed jointly by Mayne Ventures, Mayne Pharma International Pty Ltd ("Mayne International") and Mayne Pharma Group Limited ("Mayne Group"). Mayne Group holds 100% of the issued and outstanding equity securities of Mayne International, and Mayne International holds 100% of the issued and outstanding equity securities of Mayne Ventures. Consequently, Mayne Group and Mayne International may be deemed to beneficially own the securities that are the subject to this report indirectly, but disclaim beneficial ownership of such securities except to the extent of their pecuniary interests therein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, Mayne Ventures is deemed a director by deputization by virtue of its representation on the Board of Directors of the Issuer.

SEC source: 0000899243-18-007662 · doc4.xml · derivative · entry 2

Martin Robert Daniel · CIK 0001509322 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,000

Underlying: Common Stock · 56,000 shares

Expires 2028-03-13

SEC source: 0000899243-18-007662 · doc4.xml · derivative · entry 1

Martin Robert Daniel · CIK 0001509322 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 253,000

Underlying: Common Stock · 253,000 shares

Expires 2028-03-13

F1 · security: These options were granted subject to the approval of the majority stockholder of the registrant pursuant to an agreement between the majority stockholder and the registrant. In the event that the majority stockholder does not approve the option grant, the options will be canceled.

SEC source: 0000899243-18-007628 · doc4.xml · derivative · entry 1

MAGRAB E. BRENDAN · CIK 0001196062 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 345,000

Underlying: Common Stock · 345,000 shares

Expires 2028-03-13

F1 · security: These options were granted subject to the approval of the majority stockholder of the registrant pursuant to an agreement between the majority stockholder and the registrant. In the event that the majority stockholder does not approve the option grant, the options will be canceled.

SEC source: 0000899243-18-007587 · doc4.xml · derivative · entry 2

Ono Richard Dana · CIK 0001595989 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,000

Underlying: Common Stock · 56,000 shares

Expires 2028-03-13

SEC source: 0000899243-18-007587 · doc4.xml · derivative · entry 1

Ono Richard Dana · CIK 0001595989 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 253,000

Underlying: Common Stock · 253,000 shares

Expires 2028-03-13

F1 · security: These options were granted subject to the approval of the majority stockholder of the registrant pursuant to an agreement between the majority stockholder and the registrant. In the event that the majority stockholder does not approve the option grant, the options will be canceled.

SEC source: 0000899243-18-007585 · doc4.xml · derivative · entry 2

Watson W. Mark · CIK 0001612372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,000

Underlying: Common Stock · 76,000 shares

Expires 2028-03-13

SEC source: 0000899243-18-007585 · doc4.xml · derivative · entry 1

Watson W. Mark · CIK 0001612372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 253,000

Underlying: Common Stock · 253,000 shares

Expires 2028-03-13

F1 · security: These options were granted subject to the approval of the majority stockholder of the registrant pursuant to an agreement between the majority stockholder and the registrant. In the event that the majority stockholder does not approve the option grant, the options will be canceled.

SEC source: 0000899243-18-007584 · doc4.xml · derivative · entry 1

Hasara Garrison J. · CIK 0001510349 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260,000

Underlying: Common Stock · 260,000 shares

Expires 2028-03-13

SEC source: 0000899243-18-007583 · doc4.xml · derivative · entry 1

VIRCA NICHOLAS J · CIK 0001284074 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 310,000

Underlying: Common Stock · 310,000 shares

Expires 2028-03-13

SEC source: 0001144204-18-001823 · tv483130_4.xml · derivative · entry 3

Mayne Pharma Ventures Pty Ltd · CIK 0001611535 · 10% owner

Mayne Pharma International Pty Ltd · CIK 0001611534 · 10% owner

Mayne Pharma Group Ltd · CIK 0001560183 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,608,696

Underlying: Common Stock · 2,608,696 shares

Expires 2023-01-10

F3 · derivative.exercise_price: The Series B warrants have an initial exercise price of US$0.275 and may be exercised by Mayne Ventures at any time prior to their expiration on January 10, 2023.

F1 · kind: On January 10, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired 3,478,261 shares of Series B Convertible Preferred Stock, Series A warrants to purchase 2,608,696 shares of Common Stock in the aggregate and Series B warrants to purchase 2,608,696 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$2,400,000 pursuant to the terms of a securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F1 · shares: On January 10, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired 3,478,261 shares of Series B Convertible Preferred Stock, Series A warrants to purchase 2,608,696 shares of Common Stock in the aggregate and Series B warrants to purchase 2,608,696 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$2,400,000 pursuant to the terms of a securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F1 · price: On January 10, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired 3,478,261 shares of Series B Convertible Preferred Stock, Series A warrants to purchase 2,608,696 shares of Common Stock in the aggregate and Series B warrants to purchase 2,608,696 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$2,400,000 pursuant to the terms of a securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F3 · derivative.exercise_date: The Series B warrants have an initial exercise price of US$0.275 and may be exercised by Mayne Ventures at any time prior to their expiration on January 10, 2023.

F1 · derivative.underlying_shares: On January 10, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired 3,478,261 shares of Series B Convertible Preferred Stock, Series A warrants to purchase 2,608,696 shares of Common Stock in the aggregate and Series B warrants to purchase 2,608,696 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$2,400,000 pursuant to the terms of a securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F4 · ownership.direct: These securities are directly owned by Mayne Ventures. This report is filed jointly by Mayne Ventures, Mayne Pharma International Pty Ltd ("Mayne International") and Mayne Pharma Group Limited ("Mayne Group"). Mayne Group holds 100% of the issued and outstanding equity securities of Mayne International, and Mayne International holds 100% of the issued and outstanding equity securities of Mayne Ventures. Consequently, Mayne Group and Mayne International may be deemed to beneficially own the securities that are the subject to this report indirectly, but disclaim beneficial ownership of such securities except to the extent of their pecuniary interests therein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, Mayne Ventures is deemed a director by deputization by virtue of its representation on the Board of Directors of the Issuer.

SEC source: 0001144204-18-001823 · tv483130_4.xml · derivative · entry 2

Mayne Pharma Ventures Pty Ltd · CIK 0001611535 · 10% owner

Mayne Pharma International Pty Ltd · CIK 0001611534 · 10% owner

Mayne Pharma Group Ltd · CIK 0001560183 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,608,696

Underlying: Common Stock · 2,608,696 shares

Expires 2020-01-10

F2 · derivative.exercise_price: The Series A warrants have an initial exercise price of US$0.23 and may be exercised by Mayne Ventures at any time prior to their expiration on January 10, 2020.

F1 · kind: On January 10, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired 3,478,261 shares of Series B Convertible Preferred Stock, Series A warrants to purchase 2,608,696 shares of Common Stock in the aggregate and Series B warrants to purchase 2,608,696 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$2,400,000 pursuant to the terms of a securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F1 · shares: On January 10, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired 3,478,261 shares of Series B Convertible Preferred Stock, Series A warrants to purchase 2,608,696 shares of Common Stock in the aggregate and Series B warrants to purchase 2,608,696 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$2,400,000 pursuant to the terms of a securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F1 · price: On January 10, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired 3,478,261 shares of Series B Convertible Preferred Stock, Series A warrants to purchase 2,608,696 shares of Common Stock in the aggregate and Series B warrants to purchase 2,608,696 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$2,400,000 pursuant to the terms of a securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F2 · derivative.exercise_date: The Series A warrants have an initial exercise price of US$0.23 and may be exercised by Mayne Ventures at any time prior to their expiration on January 10, 2020.

F1 · derivative.underlying_shares: On January 10, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired 3,478,261 shares of Series B Convertible Preferred Stock, Series A warrants to purchase 2,608,696 shares of Common Stock in the aggregate and Series B warrants to purchase 2,608,696 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$2,400,000 pursuant to the terms of a securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F4 · ownership.direct: These securities are directly owned by Mayne Ventures. This report is filed jointly by Mayne Ventures, Mayne Pharma International Pty Ltd ("Mayne International") and Mayne Pharma Group Limited ("Mayne Group"). Mayne Group holds 100% of the issued and outstanding equity securities of Mayne International, and Mayne International holds 100% of the issued and outstanding equity securities of Mayne Ventures. Consequently, Mayne Group and Mayne International may be deemed to beneficially own the securities that are the subject to this report indirectly, but disclaim beneficial ownership of such securities except to the extent of their pecuniary interests therein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, Mayne Ventures is deemed a director by deputization by virtue of its representation on the Board of Directors of the Issuer.

SEC source: 0001144204-18-001823 · tv483130_4.xml · derivative · entry 1

Mayne Pharma Ventures Pty Ltd · CIK 0001611535 · 10% owner

Mayne Pharma International Pty Ltd · CIK 0001611534 · 10% owner

Mayne Pharma Group Ltd · CIK 0001560183 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,478,261

Underlying: Common Stock · 10,434,783 shares

Expires not disclosed

F1 · derivative.exercise_price: On January 10, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired 3,478,261 shares of Series B Convertible Preferred Stock, Series A warrants to purchase 2,608,696 shares of Common Stock in the aggregate and Series B warrants to purchase 2,608,696 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$2,400,000 pursuant to the terms of a securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F1 · kind: On January 10, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired 3,478,261 shares of Series B Convertible Preferred Stock, Series A warrants to purchase 2,608,696 shares of Common Stock in the aggregate and Series B warrants to purchase 2,608,696 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$2,400,000 pursuant to the terms of a securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F1 · shares: On January 10, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired 3,478,261 shares of Series B Convertible Preferred Stock, Series A warrants to purchase 2,608,696 shares of Common Stock in the aggregate and Series B warrants to purchase 2,608,696 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$2,400,000 pursuant to the terms of a securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F1 · price: On January 10, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired 3,478,261 shares of Series B Convertible Preferred Stock, Series A warrants to purchase 2,608,696 shares of Common Stock in the aggregate and Series B warrants to purchase 2,608,696 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$2,400,000 pursuant to the terms of a securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F1 · derivative.expiration_date: On January 10, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired 3,478,261 shares of Series B Convertible Preferred Stock, Series A warrants to purchase 2,608,696 shares of Common Stock in the aggregate and Series B warrants to purchase 2,608,696 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$2,400,000 pursuant to the terms of a securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F1 · derivative.underlying_shares: On January 10, 2018, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired 3,478,261 shares of Series B Convertible Preferred Stock, Series A warrants to purchase 2,608,696 shares of Common Stock in the aggregate and Series B warrants to purchase 2,608,696 shares of Common Stock directly from the Issuer in a private placement for an aggregate purchase price of US$2,400,000 pursuant to the terms of a securities purchase agreement, dated January 8, 2018, between Mayne Ventures and the Issuer. Each share of Series B Convertible Preferred Stock (i) may be converted by Mayne Ventures at any time into three shares of Common Stock and (ii) is entitled to the number of votes equal to the number of shares of Common Stock into which each such share of Series B Convertible Preferred Stock is convertible. The Series B Convertible Preferred Stock does not have an expiration date.

F4 · ownership.direct: These securities are directly owned by Mayne Ventures. This report is filed jointly by Mayne Ventures, Mayne Pharma International Pty Ltd ("Mayne International") and Mayne Pharma Group Limited ("Mayne Group"). Mayne Group holds 100% of the issued and outstanding equity securities of Mayne International, and Mayne International holds 100% of the issued and outstanding equity securities of Mayne Ventures. Consequently, Mayne Group and Mayne International may be deemed to beneficially own the securities that are the subject to this report indirectly, but disclaim beneficial ownership of such securities except to the extent of their pecuniary interests therein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, Mayne Ventures is deemed a director by deputization by virtue of its representation on the Board of Directors of the Issuer.

SEC source: 0001144204-18-007442 · tv485758_4.xml · nonDerivative · entry 1

Cross Stefan · CIK 0001611506 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On December 19, 2017, Stefan Cross sold 600,000 shares of Common Stock to Mayne Pharma Ventures Pty Ltd.

SEC source: 0001144204-18-007440 · tv485756_4.xml · nonDerivative · entry 1

Mayne Pharma Ventures Pty Ltd · CIK 0001611535 · 10% owner

Mayne Pharma International Pty Ltd · CIK 0001611534 · 10% owner

Mayne Pharma Group Ltd · CIK 0001560183 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,106,132

F1 · kind: On December 19, 2017, Mayne Pharma Ventures Pty Ltd ("Mayne Ventures") acquired 600,000 shares of Common Stock from Stefan Cross.

F2 · ownership.direct: These securities are directly owned by Mayne Ventures. This report is filed jointly by Mayne Ventures, Mayne Pharma International Pty Ltd ("Mayne International") and Mayne Pharma Group Limited ("Mayne Group"). Mayne Group holds 100% of the issued and outstanding equity securities of Mayne International, and Mayne International holds 100% of the issued and outstanding equity securities of Mayne Ventures. Consequently, Mayne Group and Mayne International may be deemed to beneficially own the securities that are the subject to this report indirectly, but disclaim beneficial ownership of such securities except to the extent of their pecuniary interests therein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, Mayne Ventures is deemed a director by deputization by virtue of its representation on the Board of Directors of the Issuer.

SEC source: 0000899243-17-018211 · doc4.xml · nonDerivative · entry 1

HedgePath, LLC · CIK 0001584617 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,627,069

F1 · kind: On June 30, 2017, the Reporting Person sold 2,500,000 shares of restricted common stock in a private transaction to an unaffiliated third party for a total purchase price of $500,000.

F1 · price: On June 30, 2017, the Reporting Person sold 2,500,000 shares of restricted common stock in a private transaction to an unaffiliated third party for a total purchase price of $500,000.

SEC source: 0000899243-17-018594 · doc4.xml · derivative · entry 1

Martin Robert Daniel · CIK 0001509322 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a right to receive one share of the issuer's common stock.

F2 · derivative.exercise_date: The RSUs were issued to the reporting person on May 4, 2017, pursuant to a grant under the issuer's 2014 Equity Incentive Plan. The RSUs will vest in full on January 1, 2018, provided that if such vesting date is not during an open trading window, then such RSUs will vest on the first day that thereafter that is during an open trading window.

F2 · derivative.expiration_date: The RSUs were issued to the reporting person on May 4, 2017, pursuant to a grant under the issuer's 2014 Equity Incentive Plan. The RSUs will vest in full on January 1, 2018, provided that if such vesting date is not during an open trading window, then such RSUs will vest on the first day that thereafter that is during an open trading window.

SEC source: 0000899243-17-018593 · doc4.xml · derivative · entry 1

MAGRAB E. BRENDAN · CIK 0001196062 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common Stock · 65,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a right to receive one share of the issuer's common stock.

F2 · derivative.exercise_date: The RSUs were issued to the reporting person on May 4, 2017, pursuant to a grant under the issuer's 2014 Equity Incentive Plan. The RSUs will vest in full on January 1, 2018, provided that if such vesting date is not during an open trading window, then such RSUs will vest on the first day that thereafter that is during an open trading window.

F2 · derivative.expiration_date: The RSUs were issued to the reporting person on May 4, 2017, pursuant to a grant under the issuer's 2014 Equity Incentive Plan. The RSUs will vest in full on January 1, 2018, provided that if such vesting date is not during an open trading window, then such RSUs will vest on the first day that thereafter that is during an open trading window.

SEC source: 0000899243-17-007154 · doc4.xml · derivative · entry 9

Watson W. Mark · CIK 0001612372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a right to receive one share of the issuer's common stock.

F4 · derivative.exercise_date: The RSUs were issued to the reporting person on July 1, 2016, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

F4 · derivative.expiration_date: The RSUs were issued to the reporting person on July 1, 2016, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

SEC source: 0000899243-17-007154 · doc4.xml · derivative · entry 8

Watson W. Mark · CIK 0001612372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 400,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a right to receive one share of the issuer's common stock.

F3 · derivative.exercise_date: The RSUs were issued to the reporting person on August 14, 2015, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

F3 · derivative.expiration_date: The RSUs were issued to the reporting person on August 14, 2015, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

SEC source: 0000899243-17-007154 · doc4.xml · derivative · entry 7

Watson W. Mark · CIK 0001612372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 300,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a right to receive one share of the issuer's common stock.

F2 · derivative.exercise_date: The RSUs were issued to the reporting person on July 18, 2014, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

F2 · derivative.expiration_date: The RSUs were issued to the reporting person on July 18, 2014, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

SEC source: 0000899243-17-007154 · doc4.xml · nonDerivative · entry 6

Watson W. Mark · CIK 0001612372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 553,600

SEC source: 0000899243-17-007154 · doc4.xml · nonDerivative · entry 5

Watson W. Mark · CIK 0001612372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 632,800

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · price: The RSUs were issued to the reporting person on July 1, 2016, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

SEC source: 0000899243-17-007154 · doc4.xml · nonDerivative · entry 4

Watson W. Mark · CIK 0001612372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 432,800

SEC source: 0000899243-17-007154 · doc4.xml · nonDerivative · entry 3

Watson W. Mark · CIK 0001612372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 591,200

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: The RSUs were issued to the reporting person on August 14, 2015, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

SEC source: 0000899243-17-007154 · doc4.xml · nonDerivative · entry 2

Watson W. Mark · CIK 0001612372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,200

SEC source: 0000899243-17-007154 · doc4.xml · nonDerivative · entry 1

Watson W. Mark · CIK 0001612372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 310,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: The RSUs were issued to the reporting person on July 18, 2014, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

SEC source: 0000899243-17-007152 · doc4.xml · derivative · entry 3

VIRCA NICHOLAS J · CIK 0001284074 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,041,738 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a right to receive one share of the issuer's common stock.

F2 · derivative.exercise_date: The RSUs were issued to the reporting person on July 18, 2014, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

F2 · derivative.expiration_date: The RSUs were issued to the reporting person on July 18, 2014, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

SEC source: 0000899243-17-007152 · doc4.xml · nonDerivative · entry 2

VIRCA NICHOLAS J · CIK 0001284074 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,727,519

SEC source: 0000899243-17-007152 · doc4.xml · nonDerivative · entry 1

VIRCA NICHOLAS J · CIK 0001284074 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,041,738

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: The RSUs were issued to the reporting person on July 18, 2014, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

SEC source: 0000899243-17-007153 · doc4.xml · derivative · entry 6

Hasara Garrison J. · CIK 0001510349 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,500,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a right to receive one share of the issuer's common stock.

F2 · derivative.exercise_date: The RSUs were issued to the reporting person on August 6, 2014, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

F2 · derivative.expiration_date: The RSUs were issued to the reporting person on August 6, 2014, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

SEC source: 0000899243-17-007153 · doc4.xml · derivative · entry 5

Hasara Garrison J. · CIK 0001510349 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,500,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a right to receive one share of the issuer's common stock.

F2 · derivative.exercise_date: The RSUs were issued to the reporting person on August 6, 2014, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

F2 · derivative.expiration_date: The RSUs were issued to the reporting person on August 6, 2014, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

SEC source: 0000899243-17-007153 · doc4.xml · nonDerivative · entry 4

Hasara Garrison J. · CIK 0001510349 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,059,044

SEC source: 0000899243-17-007153 · doc4.xml · nonDerivative · entry 3

Hasara Garrison J. · CIK 0001510349 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,529,522

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: The RSUs were issued to the reporting person on August 6, 2014, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

SEC source: 0000899243-17-007153 · doc4.xml · nonDerivative · entry 2

Hasara Garrison J. · CIK 0001510349 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,029,522

SEC source: 0000899243-17-007153 · doc4.xml · nonDerivative · entry 1

Hasara Garrison J. · CIK 0001510349 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,500,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: The RSUs were issued to the reporting person on August 6, 2014, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

SEC source: 0000899243-17-007151 · doc4.xml · derivative · entry 4

Cross Stefan · CIK 0001611506 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 300,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a right to receive one share of the issuer's common stock.

F3 · derivative.exercise_date: The RSUs were issued to the reporting person on August 14, 2015, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

F3 · derivative.expiration_date: The RSUs were issued to the reporting person on August 14, 2015, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

SEC source: 0000899243-17-007151 · doc4.xml · derivative · entry 3

Cross Stefan · CIK 0001611506 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 300,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a right to receive one share of the issuer's common stock.

F2 · derivative.exercise_date: The RSUs were issued to the reporting person on July 18, 2014, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

F2 · derivative.expiration_date: The RSUs were issued to the reporting person on July 18, 2014, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

SEC source: 0000899243-17-007151 · doc4.xml · nonDerivative · entry 2

Cross Stefan · CIK 0001611506 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: The RSUs were issued to the reporting person on August 14, 2015, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

SEC source: 0000899243-17-007151 · doc4.xml · nonDerivative · entry 1

Cross Stefan · CIK 0001611506 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: The RSUs were issued to the reporting person on July 18, 2014, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

SEC source: 0000899243-17-007150 · doc4.xml · derivative · entry 9

Ono Richard Dana · CIK 0001595989 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 150,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a right to receive one share of the issuer's common stock.

F4 · derivative.exercise_date: The RSUs were issued to the reporting person on July 1, 2016, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

F4 · derivative.expiration_date: The RSUs were issued to the reporting person on July 1, 2016, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

SEC source: 0000899243-17-007150 · doc4.xml · derivative · entry 8

Ono Richard Dana · CIK 0001595989 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 300,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a right to receive one share of the issuer's common stock.

F3 · derivative.exercise_date: The RSUs were issued to the reporting person on August 14, 2015, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

F3 · derivative.expiration_date: The RSUs were issued to the reporting person on August 14, 2015, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

SEC source: 0000899243-17-007150 · doc4.xml · derivative · entry 7

Ono Richard Dana · CIK 0001595989 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 300,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a right to receive one share of the issuer's common stock.

F2 · derivative.exercise_date: The RSUs were issued to the reporting person on July 18, 2014, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

F2 · derivative.expiration_date: The RSUs were issued to the reporting person on July 18, 2014, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

SEC source: 0000899243-17-007150 · doc4.xml · nonDerivative · entry 6

Ono Richard Dana · CIK 0001595989 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 453,000

SEC source: 0000899243-17-007150 · doc4.xml · nonDerivative · entry 5

Ono Richard Dana · CIK 0001595989 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 512,400

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · price: The RSUs were issued to the reporting person on July 1, 2016, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.

SEC source: 0000899243-17-007150 · doc4.xml · nonDerivative · entry 4

Ono Richard Dana · CIK 0001595989 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 362,400

SEC source: 0000899243-17-007150 · doc4.xml · nonDerivative · entry 3

Ono Richard Dana · CIK 0001595989 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 481,200

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: The RSUs were issued to the reporting person on August 14, 2015, pursuant to a grant under the issuer's 2014 Equity Incentive Plan, and vested in accordance with their terms.